Stephen D. Mcmillon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Darnell Mcmillon, who also goes by Steve Mcmillon, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2017 - September 22, 2017
SGMA CAPITAL MARKETS LIMITED
August 22, 2013 - July 11, 2017
MORGAN STANLEY
July 22, 2013 - July 11, 2017
MORGAN STANLEY
July 25, 2005 - September 6, 2005
HORNOR, TOWNSEND & KENT, LLC
December 9, 2004 - May 12, 2005
EDWARD JONES
September 28, 2004 - December 8, 2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 19, 2003 - September 7, 2004
COUNTRY CAPITAL MANAGEMENT COMPANY
November 22, 2000 - December 31, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
April 19, 2000 - October 27, 2000
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
August 25, 1997 - December 31, 1998
WMA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SGMA CAPITAL MARKETS LIMITED
CRD#: 135327 / SEC#: , 8-66911
Contact information
FINRA licenses (7 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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